Social Studies, 24.02.2022 06:50 GaudySky
Under the Uniform Securities Act, an investment adviser may legally have custody of money or securities belonging to a client if the:
I. adviser is not bonded
II. Administrator has not prohibited custodial arrangements
III. adviser does not also have discretionary authority over the account
IV. adviser has notified the Administrator that he has custody
a. I and III
b. II only
c. II and IV
d. IV only
Answers: 2
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Under the Uniform Securities Act, an investment adviser may legally have custody of money or securit...
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